Statement of Ownership (sc 13g)
18 May 2017 - 7:30AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
WASHINGTON,
DC 20549
SCHEDULE
13G
Under
the Securities Exchange Act of 1934 (Amendment No. __N/A__)*
Arbutus
Biopharma Corporation
(Name
of Issuer)
Common
Stock
(Title
of Class of Securities)
03879J100
(CUSIP
Number)
May
10, 2017
(Date
of Event Which Requires Filing of this Statement)
Check
the appropriate box to designate the rule pursuant to which this Schedule is filed:
[_]
Rule 13d-1(b)
[X]
Rule 13d-1(c)
[_]
Rule 13d-1(d)
*The
remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject
class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior
cover page.
The
information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section
18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the Notes).
1.
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NAME
OF REPORTING PERSONS
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I.R.S.
IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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RTW
Investments, LP
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2.
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CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a) [_]
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(b) [X]
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3.
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SEC
USE ONLY
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4.
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CITIZENSHIP
OR PLACE OF ORGANIZATION
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Delaware
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NUMBER
OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5.
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SOLE
VOTING POWER
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0
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6.
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SHARED
VOTING POWER
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2,770,284*
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7.
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SOLE
DISPOSITIVE POWER
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0
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8.
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SHARED
DISPOSITIVE POWER
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2,770,284*
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9.
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AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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2,770,284*
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10.
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CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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[_]
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11.
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PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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5.0%*
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12.
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TYPE
OF REPORTING PERSON (SEE INSTRUCTIONS)
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IA,
PN
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1.
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NAME OF REPORTING PERSONS
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I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
(ENTITIES ONLY)
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Roderick Wong
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2.
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(SEE INSTRUCTIONS)
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(a) [_]
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(b) [X]
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3.
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SEC USE ONLY
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4.
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CITIZENSHIP OR PLACE OF ORGANIZATION
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United States of America
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NUMBER OF SHARES BENEFICIALLY OWNED
BY EACH REPORTING PERSON WITH
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5.
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SOLE VOTING POWER
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0
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6.
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SHARED VOTING POWER
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2,770,284*
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7.
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SOLE DISPOSITIVE POWER
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0
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8.
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SHARED DISPOSITIVE POWER
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2,770,284*
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9.
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON
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2,770,284*
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10.
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CHECK BOX IF THE
AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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[_]
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11.
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW
(9)
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5.0%*
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12.
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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IN, HC
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Item
1.
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(a).
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Name
of Issuer:
Arbutus
Biopharma Corporation
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(b).
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Address
of issuer’s principal executive offices:
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100-8900
Glenlyon Parkway
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Burnaby,
BC, Canada V5J 5J8
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Item
2.
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(a).
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Name
of person filing:
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RTW
Investments, LP
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Roderick
Wong
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(b).
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Address
or principal business office or, if none, residence:
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RTW
Investments, LP
250
West 55
th
Street, 16
th
Floor
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Suite
A
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New
York, New York 10019
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Roderick
Wong
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c/o
RTW Investments, LP
250
West 55
th
Street, 16
th
Floor
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Suite
A
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New
York, New York 10019
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(c).
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Citizenship:
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RTW
Investments, LP – Delaware
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Roderick
Wong – United States of America
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(d).
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Title
of class of securities:
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Common
Stock, no par value per share
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(e).
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CUSIP
No.:
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03879J100
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Item
3.
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If
This Statement is filed pursuant to §§.240.13d-1(b) or 240.13d-2(b), or (c), check whether the person filing is
a
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N/A
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Item
4.
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Ownership.
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Provide
the following information regarding the aggregate number and percentage of the class of securities of the issuer identified
in Item 1.
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(a)
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Amount
beneficially owned:
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RTW
Investments, LP – 2,770,284*
Roderick
Wong – 2,770,284*
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RTW
Investments, LP – 5.0%*
Roderick
Wong – 5.0%*
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(c)
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Number
of shares as to which the person has:
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(i)
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Sole
power to vote or to direct the vote
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RTW Investments, LP – 0
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Roderick Wong – 0
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(ii)
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Shared power to vote or to direct the vote
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RTW Investments, LP – 2,770,284*
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Roderick Wong – 2,770,284*
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(iii)
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Sole power to dispose or to direct the disposition
of
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RTW Investments, LP – 0
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Roderick Wong – 0
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(iv)
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Shared power to dispose or to direct the disposition
of
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RTW Investments, LP – 2,770,284*
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Roderick Wong – 2,770,284*
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*
The shares of common stock, no par value (the “Shares”), of Arbutus Biopharma Corporation (the “Company”)
reported herein are held by one or more private funds (together the “Funds”) managed by RTW Investments, LP (the “Adviser”).
The Adviser, in its capacity as the investment manager of the Funds, has the power to vote and the power to direct the disposition
of all Shares held by the Funds. Accordingly, for the purposes of Reg. Section 240.13d-3, the Adviser may be deemed to beneficially
own an aggregate of 2,770,284 Shares, or 5.0% of the Company’s 55,024,557 shares of common stock issued and outstanding
as of April 30, 2017, as disclosed in the Company’s Form 10-Q filed with the Securities and Exchange Commission on May 4,
2017. Roderick Wong is the Managing Partner of the Adviser. This report shall not be deemed an admission that the Adviser, the
Funds or any other person is the beneficial owner of the securities reported herein for purposes of Section 13 of the Securities
Exchange Act of 1934, as amended, or for any other purpose. Each of the reporting persons herein disclaims beneficial ownership
of the Shares reported herein except to the extent of the reporting person’s pecuniary interest therein.
Item
5.
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Ownership
of Five Percent or Less of a Class.
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If
this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial
owner of more than five percent of the class of securities, check the following [_].
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N/A
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Item
6.
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Ownership
of More Than Five Percent on Behalf of Another Person.
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If
any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds
from the sale of, such securities, a statement to that effect should be included in response to this item and, if such interest
relates to more than 5 percent of the class, such person should be identified. A listing of the shareholders of an investment
company registered under the Investment Company Act of 1940 or the beneficiaries of employee benefit plan, pension fund or
endowment fund is not required.
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N/A
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Item
7.
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Identification
and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control
Person.
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If
a parent holding company or control person has filed this schedule, pursuant to Rule 13d-1(b)(1)(ii)(G), so indicate under
Item 3(g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a parent
holding company or control person has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating
the identification of the relevant subsidiary.
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N/A
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Item
8.
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Identification
and Classification of Members of the Group.
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If
a group has filed this schedule pursuant to §240.13d-1(b)(1)(ii)(J), so indicate under Item 3(j) and attach an exhibit
stating the identity and Item 3 classification of each member of the group. If a group has filed this schedule pursuant to
Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identity of each member of the group.
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N/A
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Item
9.
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Notice
of Dissolution of Group.
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Notice
of dissolution of a group may be furnished as an exhibit stating the date of the dissolution and that all further filings
with respect to transactions in the security reported on will be filed, if required, by members of the group, in their individual
capacity. See Item 5.
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N/A
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By
signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are
not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were
not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
SIGNATURE
After
reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true,
complete and correct.
Dated:
May 17, 2017
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RTW Investments, LP
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By:
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/s/
Roderick Wong
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Roderick
Wong, Managing Partner
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Roderick Wong
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By:
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/s/
Roderick Wong
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Roderick
Wong, Individually
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The
original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If
the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner
of the filing person, evidence of the representative’s authority to sign on behalf of such person shall be filed with the statement,
provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated
by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature.
Note.
Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See s.240.13d-7
for other parties for whom copies are to be sent.
Attention.
Intentional misstatements or omissions of fact constitute Federal criminal violations (see 18 U.S.C. 1001).
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